Whistleblowing in Financial Services - Key Requirements for FCA & PRA Regulated Firms

Introduction

Compliance and culture continue to become more central to the way we work in financial services, and whistleblowing is a key component.

The number of such complaints is clearly rising, and the regulator is dealing with them more effectively, as well as with firms who fail to have appropriate policies and safeguards in place.

However, putting such safeguards in place is not simple. There are a number of legal and regulatory requirements to navigate alongside employment law.

This new virtual classroom seminar focuses on the steps required to build successful whistleblowing procedures in an FCA and PRA regulated firm.

It is suitable for those with responsibility for whistleblowing procedures in firms, as well as senior managers in FCA regulated firms.

What You Will Learn

This live and interactive course will cover the following:

• Examining FCA action due to the mishandling of whistleblowing complaints
• Expectations set out in SYSC 18
• Public Interest Disclosure Act 1998
• Impact of the Employment Rights Bill
• Difference between a grievance and a whistleblowing complaint
• Practicalities when designing your policies and handling a complaint

Recording of live sessions: Soon after the Learn Live session has taken place you will be able to go back and access the recording - should you wish to revisit the material discussed.